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Comments: My broker already gives proper warning and reviews request to access these types of trades. Retail, new, and small investors are already at a disadvantage in todays market that allows high net worth entities access to trading outside regular market hours and through AI driven trades that give them a leg up when new information is presented to the public. Adding more restrictions or
Supplementary Material .15 is effective from Apr 24, 2014 through Dec. 1 2015.
(a) Supervisory System
Each member shall establish and maintain a system to supervise the activities of each associated person that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules. Final responsibility
I would be categorized as a "retail" trader. The assumptions being made in this proposal are insulting, it wrongly assumes so called retail traders are uneducated in many of the products named in this proposal. The assumption non-professional traders lack understanding of these products is not what I see on a daily basis. I trade with hundreds of other traders in a Discord chat room and
Washington, D.C. — The FINRA Investor Education Foundation has awarded a grant of $484,000 to the University of California, Los Angeles (UCLA) to explore how individual investors are managing the risk of outliving their retirement savings, and how annuities could provide a solution to the problem.Formerly known as the NASD Investor Education Foundation, the FINRA Investor Education Foundation was
Washington, DC – Female investors lag behind their male counterparts when it comes to investment knowledge and confidence, according to new research conducted by the FINRA Investor Education Foundation (FINRA Foundation) and the George Washington University School of Business' Global Financial Literacy Excellence Center (GFLEC).
Male and female investors answered a 10-question quiz
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: April 9, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article IV, Sections 3 and 4 of the NASD By-Laws and Article IV, Section 5 of the NASD Rules of Fair Practice. The amendments to the By-Laws would codify certain internal procedures presently employed by the NASD in processing terminations
I have inverse funds in my investment accounts. They are a portion of the accounts, not the majority of the accounts. These funds bring some additional diversity and balance to my accounts. I am investing money that I have earned throughout my career, and I should be able to do that as I see fit without government regulation either adding needless tasks for me to accomplish or restrict my
Precious metals IRA frauds frequently target older workers and retirees because they typically have more money saved in their qualified retirement accounts than younger people. Before you consider rolling over your retirement plan to a gold or silver IRA, here are 10 questions you should ask.
Board Approves 2020 Annual Financial Report; Adopts Advisory Committee Term Limits in Support of Greater Diversity and Inclusion
WASHINGTON – FINRA’s Board of Governors met on May 18-19, 2021. During the meeting, the Board approved FINRA’s 2020 Annual Financial Report, which—for the first time—will include a section on human capital describing the diversity of the self-regulatory organization’s
As a Self-Regulatory Organization, FINRA benefits from the expertise and industry knowledge of member firms to react more quickly to emerging challenges and write more effective and efficient regulations. FINRA’s Regional Committees play an important role in this process, supplying FINRA with real-time insights that help us fulfill our mission of investor protection and market integrity. On this episode, we learn more.